Firms should consider their entire organization, including branch offices, when implementing written policies and procedures for the safeguarding of customer records and information to ensure ...
Still no sign that a widely anticipated SEC sweep looking at compliance with the new advertising rule has commenced. Yet examiners are asking lots of ...
Lack of communication between robo adviser's compliance personnel and engineers contributes to disclosure issues
"Private fund investors often are retirement funds and endowments .... That’s why we proposed a rule to require private fund advisers to provide detailed reporting ...
The decision leaves unresolved the constitutionality of the SEC ALJ setting, setting the stage for the issue to percolate once again up to the High ...
A nearly four-year-old SEC enforcement case draws to a close with a modest penalty of $100,000 yet the richness of the case pays off with ...
The case provides three errors to avoid when it comes to disclosing revenue sharing arrangements
Should you have a need to supervise IARs, you can benefit from the aftermath of this case
An example of a proxy voting issue would be a company that's burning sugar cane in the Amazon. The adviser would vote against any continued ...
This new proposal from the SEC would revise Reg S-P to require IAs, ICs and B-Ds to "adopt written policies and procedures for incident response ...